Setting up a disciplinary procedure.Introduction This checklist is aimed at those wishing to implement a disciplinary procedure disciplinary procedure A sanction, or restriction of the right to practice medicine, imposed on a professional within their company or organisation. It is essential that an employer acts reasonably in dealing with misconduct MISCONDUCT. Unlawful behaviour by a person entrusted in any degree: with the administration of justice, by which the rights of the parties and the justice of the, case may have been affected. 2. and ill-discipline. A fair and thorough disciplinary procedure can help protect an employer against an unfair dismissal unfair dismissal n → despido improcedente unfair dismissal n → licenciement abusif unfair dismissal unfair n → claim and the ensuing en·sue intr.v. en·sued, en·su·ing, en·sues 1. To follow as a consequence or result. See Synonyms at follow. 2. To take place subsequently. costs of a successful claim. Legislation aside, it is good personnel practice to deal with employee ill-discipline quickly and fairly, and to offer guidance on improving behaviour, so that problems do not fester fester /fes·ter/ (fes´ter) to suppurate superficially. fes·ter v. 1. To ulcerate. 2. To form pus; putrefy. n. An ulcer. and grow. Although this checklist focuses on the mechanics of a disciplinary procedure, it is important to remember that good management, for example spotting problems before they become serious and identifying development needs to improve performance, can prevent many cases reaching this stage. National Occupational Standards for Management and Leadership This checklist has relevance for the following standards: B: Providing direction, Unit 8; D: Working with people Units, 1 and 2 Definition A disciplinary procedure provides employers with a structured approach for dealing with ill-discipline at work. The procedure defines the types of ill-discipline it covers, the presentation and documentation of warnings, representation at disciplinary interviews, time limits for investigation, and rights of appeal. Action checklist 1. Designate des·ig·nate tr.v. des·ig·nat·ed, des·ig·nat·ing, des·ig·nates 1. To indicate or specify; point out. 2. To give a name or title to; characterize. 3. a Disciplinary Procedure Management Committee (DPMC DPMC Department of the Prime Minister and Cabinet (Australia; also seen as DPM&C) ) The Committee should include, depending on the size of the organisation, at least one person from the personnel department, and from each level of management within the organisation, and a representative from each trade union to which employees belong. The Committee will manage the design, implementation and running of the disciplinary procedure. Appoint a coordinator (preferably a member from personnel, but certainly someone with project management experience who commands respect, has excellent communication and negotiation skills and can get things done) to oversee the project. 2. Define the terms of reference Terms of reference allude to a mutual agreement under which a command, element, or unit exercises authority or undertakes specific missions or tasks relative to another command, element, or unit. Also called TORs. Identify the employees covered by the procedure (for example, all non-directors) and the managers who will be responsible for the disciplinary interviews. Define illdiscipline (both minor and serious misconduct), clarify legal obligations, and agree on the process which can lead to dismissal. 3. Draw up the procedure Use the experiences, soundings and research of the Committee to devise a procedure. Try to obtain samples of procedures used in other organisations and remember to write as simply as possible so that it is easy to understand. If necessary, consider using external expertise. The procedure should contain the following: * Purpose. An initial paragraph giving the reasons for having a procedure, highlighting the benefits to employees of a consistent set of rules and the importance of discipline in the workplace. * Types of misconduct. This should give staff an indication of the type of misconduct that would invoke To activate a program, routine, function or process. the disciplinary procedure. Distinguish between minor offences and those which are serious or may constitute gross misconduct: Minor Smoking (where appropriate) Time-keeping Misuse of company facilities Dress Serious Vandalism The intentional and malicious destruction of or damage to the property of another. The intentional destruction of property is popularly referred to as vandalism. It includes behavior such as breaking windows, slashing tires, spray painting a wall with graffiti, and Fraud Alcohol/Drugs Violence, bullying Bullying Chowne, Parson Stoyle terrorizes parish; kidnaps children. [Br. Lit.: The Maid of Sker, Walsh Modern, 94–95] Claypole, Noah bully; becomes thief in Fagin’s gang. [Br. Lit. * Warnings. Depending on the seriousness of the offence OFFENCE, crimes. The doing that which a penal law forbids to be done, or omitting to do what it commands; in this sense it is nearly synonymous with crime. (q.v.) In a more confined sense, it may be considered as having the same meaning with misdemeanor, (q.v. an employee will be faced with a series of warnings: Oral (confirmed in writing) Written Final written The ultimate penalty after this will be dismissal, although sanctions Sanctions is the plural of sanction. Depending on context, a sanction can be either a punishment or a permission. The word is a contronym. Sanctions involving countries: tr.v. de·mot·ed, de·mot·ing, de·motes To reduce in grade, rank, or status. [de- + (pro)mote. or loss of pay may be considered. The warnings will be given to the employee after an interview, usually with the employee's line manager. Many procedures stipulate stip·u·late 1 v. stip·u·lat·ed, stip·u·lat·ing, stip·u·lates v.tr. 1. a. To lay down as a condition of an agreement; require by contract. b. a length of time after which, if the employee does not re-offend, the warning lapses, but this can leave the door open to abuse of the system. For this reason it is best not to set a time limit, and to keep the warning on file. Remember that the disciplinary procedure should not be invoked unless informal warnings from the line manager have had no effect, or unless the offence is considered to be so important that instant disciplinary action must be taken. In cases of gross misconduct an employee may be suspended from work, on full pay, pending an investigation, then dismissed. * Representation at meetings. A colleague or trade union representative can, by right, accompany or represent the employee at each warning interview. Consider stipulating that the union should be involved unless the employee specifically objects. On occasions when the offence also constitutes a criminal offence, a solicitor should be allowed to be present. * Investigations. All abuses of discipline must be investigated before a warning of any kind is issued. At the very least this involves hearing the employee's side of the story. It is possible to suspend the employee on full pay while the investigation is taking place. Set a time limit to carry out investigations into gross misconduct, such as deliberate malpractice malpractice, failure to provide professional services with the skill usually exhibited by responsible and careful members of the profession, resulting in injury, loss, or damage to the party contracting those services. . This should be not more than 10 days after the offence was committed. * Documentation. Detailed minutes should be taken at all interviews and kept along with copies of any investigation into the misconduct and any warnings issued. This documentation is not only useful for checking whether an employee's behaviour improves; it can also be used as evidence, in the event of an industrial tribunal industrial tribunal n → magistratura de trabajo, tribunal m laboral industrial tribunal n (Brit) → conseil m de prud'hommes , that correct procedures have been followed. * Plans of action. In the case of minor offences every effort must be made to help the employee overcome problems, obviating ob·vi·ate tr.v. ob·vi·at·ed, ob·vi·at·ing, ob·vi·ates To anticipate and dispose of effectively; render unnecessary. See Synonyms at prevent. the need to pursue the process further. The procedure should make it clear that plans of action will be agreed between the employee and the line manager at each interview to enable improvements in discipline. A date will be given for an evaluation interview, at which, if progress has not been made, a more severe warning can be issued. * Appeals. Employees should be given the right to appeal against any warning they receive, as long as it is made in writing to their line manager within five working days of the issue of the warning. 4. Draw up an implementation timetable In a large organisation it is often better to pilot the disciplinary procedure on one site or in a large department before full implementation. 5. Provide training for managers and supervisors Training should be given to all managers and supervisors who may have to deal with disciplinary issues. Ensure that they understand the mechanics of the procedure and try to make sure that there is a consistency of approach. Give training not only in conducting a disciplinary interview effectively but also on general discipline and control; this will help solve as many problems as possible without the need for the full procedure. 6. Communicate the procedure to all employees If you have disciplinary rules Precepts, such as the Code of Professional Responsibility, that proscribe an attorney from taking certain actions in the Practice of Law. Proceedings can be instituted to disbar an attorney who violates the disciplinary rules. , by law they must be notified to employees. Ensure that staff are aware of the procedure (a letter should be sent to all employees along with a copy of the procedure), and know when the procedure will come into effect. Explain that the procedure has been introduced to benefit employees by providing them with a consistent way of dealing with ill-discipline. The same information should be given to new recruits and included in the staff manual. 7. Implement the procedure Ensure a member of the DPMC is available to answer any questions that may arise, especially during the critical period following the communication of the procedure. 8. Evaluate the procedure Regular evaluation of the procedure will contribute towards improving it. The number of times the procedure is used should be recorded, and any managers who seem to have difficulty in handling discipline should be identified. Employees who have been disciplined under the procedure should be asked for their views on it. 9. Make changes and give feedback on the results Changes should be made in the light of the evaluation. These may include extra training for some managers, or re-writing some of the steps or phases. Communicate the changes made to employees. Managers should avoid: * Taking disciplinary action until the case has been investigated. * Setting the procedure in stone by ignoring the need for regular reviews. * Allowing the procedure to replace the need for good management. Additional resources Books Discipline and grievances at work, Rev ed, London: Advisory Conciliation conciliation: see mediation. and Arbitration Service, 2005 Producing disciplinary and grievance procedures A term used in Labor Law to describe an orderly, established way of dealing with problems between employers and employees. Through the grievance procedure system, workers' complaints are usually communicated through their union to management for consideration by the employer. , London: Advisory Conciliation and Arbitration Service, 2004 Disciplinary and grievance procedures: a guide to the new law, London: Labour Research Department, 2004 Statutory disciplinary and grievance procedures, London: Incomes Data Services, 2004 Handling discipline, Tricia Jackson London: Chartered Institute of Personnel and Development The Chartered Institute of Personnel and Development (CIPD) is the leading professional body for those involved in the field of personnel, training and development. Membership of the CIPD is highly respected and widely accepted by employers as a requirement of practice. , 2001 This is a selection of books available for loan to members from the Management Information Centre. More information at: www.managers.org.uk/mic Related checklists Setting up a grievance procedure (054) Undertaking a disciplinary interview (109) Internet resources Advisory, Conciliation and Arbitration Service (ACAS ACAS Cardiology A clinical trial–Asymptomatic Carotid Atherosclerosis Study which evaluated the 5-yr risk of fatal and non-fatal stroke-primary outcome in Pts with asymptomatic but severe carotid atherosclerosis. See Carotid stenosis. ) An extensive range of advice and downloadable resources on a range of employment law issues: www.acas.org.uk BusinessLink: www.businesslink.gov.uk Practical advice on a range of employment and business issues Organisations Advisory, Conciliation and Arbitration Service (ACAS) Brandon House, 180 Borough High Street Borough High Street is the last section of the road from Dover to London as it approaches London Bridge. It is also the northern section of the A3 road from London to Portsmouth. It divides historic Southwark in two. , London SE1 1LW Tel: 020 7210 3613 www.acas.org.uk |
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